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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Conduct of Business Module (COB) [VER33/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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  • Passing a Client Order to Another Person for Execution

    • COB A1.1.3

      An Authorised FirmG must, pursuant to COB Rule 6.7.4(3), make a record of the following:

      (a) the identity of the PersonG instructed;
      (b) the terms of the instruction; and
      (c) the date and time that the instruction was given.
      Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]